710. Assessment of Allegations of Noncompliance and Request to Investigate

Within five working days of receipt of an allegation or report of noncompliance the RIO QI Officer (or, in the absence of the QI Officer, a qualified designee including the RIO Director or an IRB Chair) will:

·        initially assess the information provided,

·        provide a summary to the RIO Director and IRB Chair,


·        request permission to proceed with an investigation;


·        suggest that the matter be dismissed as not meeting the criteria for noncompliance or a reportable event, or

·        conclude that the situation may fall under the purview of another body within the University.

  • NOTE: If it is determined that the matter may be more appropriately handled by another unit or department, the director or chair may suggest immediate referral to the other entity or may give the QI Officer permission to investigate the matter before involving other parties.

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